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Employer firm

Gwn Securities Inc. CRD 128929

$4.75B regulatory AUM 54 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Market timing

From the firm’s Form ADV. Read the guides:

Current Employers
Gwn Securities Inc.

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-04-09
  • CA RA
    APPROVED
    Since 2025-04-09

Branch Locations

Covina, CA • United States

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • USA

177 East Colorado Blvd. Suite 200, Office 3055, Pasadena, CA 91105 • United States

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Walnut High School Walnut CA 08/2015 05/2019
Mt. San Antonio Community College Walnut CA 06/2019 06/2021
Self Employed Covina CA 05/2021 Present
Self Employed Covina CA 03/2024 Present
Gwn Securities, Inc. Palm Beach Gardens FL 04/2025 Present
  • 08/2015 → 05/2019
    Walnut High School
    Walnut, CA
  • 06/2019 → 06/2021
    Mt. San Antonio Community College
    Walnut, CA
  • 05/2021 → Present
    Self Employed
    Covina, CA
  • 03/2024 → Present
    Self Employed
    Covina, CA
  • 04/2025 → Present
    Palm Beach Gardens, FL
Other Businesses

1-- LA PENSION PLANNERS POSITION: Financial Representative NATURE: DBA/Financial Services. COMPENSATION TYPE: Commission. INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 40 START DATE: 4/14/2025 ADDRESS: 177 E Colorado Blvd, Office 3055 Pasadena CA, United States DESCRIPTION: DBA for Securities Business / Financial Services 2-- LIFE & HEALTH INSURANCE POSITION: Financial Representative. NATURE: Insurance. COMPENSATION TYPE: Commission. INVESTMENT RELATED: No NUMBER OF HOURS: 100 TRADING HOURS: 0 START DATE: 4/14/2025 ADDRESS: 177 E Colorado Blvd, Office 3055 Pasadena CA, United States DESCRIPTION: Life Insurance sales to customers. 3-- SELF-EMPLOYED POSITION: Notary Public. NATURE: Legal Services. COMPENSATION TYPE: Fee Based. INVESTMENT RELATED: No NUMBER OF HOURS: 2 TRADING HOURS: 0 START DATE: 5/27/2021 ADDRESS: 977 W. San Bernardino Rd Ste 188 Covina, CA 91722 United States DESCRIPTION: Perform Notarial acts and services. 4-- SELF-EMPLOYED POSITION: Photographer & Videographer. NATURE: Entertainment Services. COMPENSATION TYPE: Hourly. INVESTMENT RELATED: No NUMBER OF HOURS: 7 TRADING HOURS: 0 START DATE: 3/23/2024 ADDRESS: 977 W. San Bernardino Rd Ste 188 Covina, CA 91722 United States DESCRIPTION: I take photos or videos for special events such as birthday parties, baby showers, weddings, graduation ceremonies, etc. 5--PENSION 101 INVESTMENT RELATED: Is Not Investment Related, "457 W Allen Ave, Suite 110, San Dimas, CA, 91773, United States", Pension Education & Lead Generation System, User/Rep,9/22/2025,4 hours per month,0 hours per month during trading hours, Other Compensation, Representative showing people how to use the educational platform. Compensation based on project bases.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-09-10
  • S66 Uniform Combined State Law Examination
    2024-09-10

View on SEC IAPD

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